Transfer Agent Registration and Amendment Form

Forms and Documents

Document Name	Status
Form TA-1 Transfer Agent Registration Form Form	Modified
Form FR TA-1 Transfer Agent Amendment Form Form and Instruction	Unchanged
TA1_201307_omb.docx Supporting Statement A	2013-07-16
FR_TA1.201305_83c.pdf Justification for No Material/Nonsubstantive Change	2013-05-09

IC Document Collections

IC ID	Document Title	Status
36099	Transfer Agent Registration Form Form	Modified
179553	Transfer Agent Amendment Form Form and Instruction	Unchanged

ICR Details

OMB Control No: 7100-0099	ICR Reference No: 201307-7100-001
Status: Historical Active	Previous ICR Reference No: 201305-7100-008
Agency/Subagency: FRS	Agency Tracking No: FR TA-1
Title: Transfer Agent Registration and Amendment Form
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Delegated
OIRA Conclusion Action: Approved without change	Conclusion Date: 07/18/2013
	Date Received in OIRA: 07/18/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2016	36 Months From Approved	07/31/2013
Responses	6	0	6
Time Burden (Hours)	4	0	4
Cost Burden (Dollars)	0	0	0

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Abstract: The Securities and Exchange Act requires any person acting as a transfer agent to register as such and to amend registration information when it changes.

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Authorizing Statute(s): US Code: 15 USC 78q(a)(3) and 78q-1(c) Name of Law: Securites Exchange Act
   US Code: 15 USC 78c(a)(34)(B)(ii) Name of Law: Securites Exchange Act
   US Code: 15 USC 78w(a)(1) Name of Law: Securites Exchange Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 23253	04/18/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 42521	07/16/2013
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
Transfer Agent Registration Form	TA-1	Transfer Agent Registration and Amendment Form
Transfer Agent Amendment Form	FR TA-1	Transfer Agent Registration and Amendment Form

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	6	6	0	0	0	0
Annual Time Burden (Hours)	4	4	0	0	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Yes

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 07/18/2013

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